Work Location:
Toronto, Ontario, Canada
Hours
37.5
Line Of Business
TD Securities
Pay Details
$59,500 - $84,000 CAD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
Job Description
Business Unit Overview:
Global Operations and Business Services employees bring diverse talents and experiences to provide value to TD Securities. Our team offers a dynamic and inclusive environment where individuals can grow, innovate, and succeed, while delivering infrastructure services to support trading, investment, and corporate banking functions.
Team Overview
The Client Due Diligence (CDD) team conducts due diligence on TD Securities clients during onboarding, periodic reviews, and on an ongoing basis. The team ensures compliance with Global AML requirements, mitigating operational, regulatory, and reputational risks.
Job Description/Accountabilities
- Execute AML reviews: Verify AML requirements (KYC, FATCA, CIRO), ensuring compliance during onboarding, periodic reviews, and ad-hoc events.
- Conduct in-depth research using independent online sources to gather requisite information for client due diligence.
- Liaise with business partners: Respond to regulatory inquiries and escalate issues as needed to ensure compliance.
- Maintain audit trails: Ensure accurate tracking of incoming requests and documentation throughout the process.
- Assist in regulatory audits by gathering relevant data for auditors and internal control teams.
- Deliver exceptional quality: Perform accurate data entry, mitigating risks related to regulatory, financial, operational, or reputational exposure.
- Identify opportunities for improvement: Engage in process enhancement initiatives to improve efficiency.
- Assist with strategic initiatives and participate in the rollout and adoption of new operational and regulatory initiatives.
Job Requirements
- Knowledge of AML regulations including PCMLTFA, FATCA, and CIRO, as well as a strong understanding of the TD Securities business environment.
- Ability to work on routine and ad-hoc requests within defined parameters, while handling operational and reporting functions.
- Strong organizational and problem-solving skills to meet deadlines in a high-volume environment.
- Excellent communication skills: Ability to collaborate effectively with team members and business partners.
- Proficiency with MS Office tools, particularly Excel, and experience with Bloomberg/Impact. Technical skills in UI Path, Alteryx, VBA are a plus.
Experience And/or Education
- Undergraduate degree/ college diploma
- 3+ year relevant experience
Who We Are
TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we strive to make every interaction, product and experience remarkably human and refreshingly simple. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank.
Together, we are reimagining what banking can be for our clients, colleagues and communities.
Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more
Additional Information
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.
Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.
Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.
If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.
We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.
Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
Accommodation
Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.
We look forward to hearing from you!
Language Requirement (Quebec Only)
Sans Objet
